Making good investments comes with a great deal of risk. Investors always have to be careful when they are working with broker-dealer firms. However, even with the best security and precautions put in place, it can be difficult to keep your assets safe. The Financial Industry Regulatory Authority (FINRA) is responsible for monitoring activity and practices conducted by brokers and brokerage firms to protect investors.
What is FINRA?
The Financial Industry Regulatory Authority (FINRA) is a private, non-profit organization that regulates operations between its member brokers and broker-dealer firms while safeguarding the integrity of exchange markets. As part of the securities industry, FINRA is regulated by the federal agency Securities and Exchange Commission (SEC).
What is the role of a FINRA lawyer?
A FINRA lawyer like one from Crepeau Mourges specializes in the field of FINRA law, which deals with regulations involving investments and oversees relations between brokers and investors. They focus on many types of issues, such as investor arbitration claims, investment losses, and violation of FINRA law. FINRA lawyers work with brokers, brokerage firms and investors.
When an investment goes wrong, a FINRA lawyer can offer you legal assistance to resolve the issue. You may benefit from hiring a skilled and experienced FINRA lawyer to provide you legal and financial advice, represent you against accusations of FINRA law violations, as well as set up protections to secure your investments. Having a competent and reliable FINRA lawyer by your side allows you to prevent issues with your investments from occurring in the first place.
How Does an Arbitration Claim Work?
If you have a dispute with your broker or brokerage firm, a FINRA lawyer can get to the root of the issue and explore strategies to settle the dispute. Instead of resolving the matter in court however, you are required to handle your claim through arbitration before FINRA. Filing a claim involves several steps that a FINRA lawyer can assist you with. To learn more about the arbitration process for a FINRA claim, talk to a trusted lawyer.
Contact a Trusted FINRA Lawyer
Because FINRA law is so complex and deals with sensitive financial matters, hiring a lawyer is highly recommended so that you can proceed with your case without further issue. The risks are too high to attempt to resolve anything related to FINRA on your own. Whether you need help with an arbitration claim or need a lawyer to represent you against a regulatory inquiry, a lawyer can help. Contact a top FINRA lawyer today.